國聯證券(601456.SH):收到證監會關於對公司採取出具警示函措施的決定
格隆匯 11 月 20日丨國聯證券(601456.SH)公佈,近日,公司收到中國證券監督管理委員會《關於對國聯證券股份有限公司採取出具警示函措施的決定》(〔2020〕74號),具體內容如下:
“經查,我會發現你公司在籌劃重大資產重組過程中存在以下問題:一是未有效評估監管政策,對重組備選方案准備不足;二是未審慎評估對證券市場的影響。
上述情況違反了《證券公司和證券投資基金管理公司合規管理辦法》第六條第(八)項等規定。按照《證券公司和證券投資基金管理公司合規管理辦法》第三十二條的規定,我會決定對你公司採取出具警示函的行政監管措施。
如果對本監督管理措施不服,可以在收到本決定書之日起60日內向我會提出行政複議申請,也可以在收到本決定書之日起6個月內向有管轄權的人民法院提起訴訟。複議與訴訟期間,上述監督管理措施不停止執行。”
對此,公司高度重視,將進一步加強合規管理,做好信息披露工作。目前,公司經營情況正常,敬請投資者注意投資風險。
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